Good Practice Guidance on TNA a background paper

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Good Practice Guidance on TNA a background
paper

• Prepared by E.Fida R. Nayamuth
• UNFCCC workshop
• Sharing Good Practice in Conducting TNAs
• Bangkok, 27-29 June, 2007

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Content

• Background
• Why this background paper on GPG on TNA?
• Objectives
• Scope
• TNA under the UNFCCC
• Targeted audience
• Approach.
• Status of the TNA
• Synthesis of GPG of TNA by steps
• Conducting TNAs
• Reporting TNAs
• Implementing
• Cross-cutting issues
• Next steps

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Why the background paper?

• Mandated by
• SBSTA 25 UNFCCC sec in collaboration with EGTT
  to prepare a background paper on GP on TNAs
• SBSTA 25 UNFCCC to organize a workshop on
  sharing GPs of NA1 in conducting TNAs in Bangkok,
  27-29 June, 2007
• SBSTA 26 UNFCCC to organize a workshop on GP
  and experiences in conducting NCs in Cairo, 20-22
  September, 2007
• SBSTA 26 UNFCCC make the paper available to
  SBSTA 27 for its consideration and to Parties
  along with synthesis report, newly completed TNAs
  and other relevant info.

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Objectives of the paper

• The overall objective of the paper is to
• Compile and synthesize good practices from the
  TNAs completed so far
• Inspire the discussions and serve as source of
  information for the participants of the workshop.
• Help countries find ways of encouraging
  technology transfer through GP and lessons
  learned from those that are more advanced with
  this process.
• The paper could be used to form the basis for
  preparing a technical paper on this matter at a
  latter stage.

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Scope of the paper

• Covers 34 TNA reports completed,
• funded mainly by GEF Additional Financing for
  phase II/top-ups
• Overview of How? did countries carry out the
  TNA process
• overview of guidance on conducting, reporting and
  implementing
• experiences, lessons learned and challenges that
  have emerged from the TNA process
• Build upon the existing work
• UNFCCC, EGTT, UNDP, UNEP, CTI, etc
• Provides a How to guidance for improving TNA
  process.
• One size does not fit all but generic issues are
  addressed
• Case studies provided.

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TNA reports covered
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Targeted audience

• Participants of Bangkok workshop on sharing GP in
  TNAs
• Climate change teams of NA1 that are/will be
  conducting the TNA process
• Stakeholders involved in the TNA process
• International organization and/or donor countries
  that are interested in the process of the
  technology transfer to NA1 countries.
• Participants of the Cairo workshop on sharing GP
  in conducting NCs

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Approach

• Build upon a synthesis of the information
  through
• In-desk review of the 34 TNA reports,
• Workshop presentations on country experiences and
  lessons learnt and breakout sessions discussions
• Questionnaire survey on best/good practices in
  TNAs during the Bangkok workshop.
• The questionnaire includes a set of 48 questions
  aiming to further clarify issues that could not
  be clarified by the in-desk review of the TNA
• Interviews with coordinators of the TNA
• In the course of workshop, and follow ups have
  been made by e-mails.
• Inputs from stakeholders are key Comments and
  feedback on the draft paper from the participants
  of both workshops
• Build upon a working definition on Good
  Practice
• Paper is structured under an activity/step-wise
  approach
• Conducting, reporting and implementing.
• Each step current guidance generic issues in
  country performances, GP, case study.
• Consider both similarities and differences
  between mitigation and adaptation

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TNA process main activities
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Good Practice (GP) a definition

• Good Practice has been previously used but no
  definition as part of KM system of UNFCCC
• Workshop report on GP in PM in A1P held in
  Copenhagen, April 2000
• Countries may approach GP in international and
  national context
• Countries agreed that
• Good Practice more appropriate in international
  setting
• Best Practice is at a large extend country
  specific
• Good Practice Wikipedia
• as a management idea which asserts that there is
  a technique, method, process, activity, incentive
  or reward that is more effective at delivering a
  particular outcome than any other technique,
  method, process, etc
• Good practice in the TNA process
• the most efficient (least amount of effort) and
  effective (best results) way of conducting a TNA,
  reporting and implementing its results, based on
  repeatable procedures that have proven themselves
  over time for large numbers of users.
• Good Practice involve a set of evaluation
  criteria
• Methodology, priority area/sector covered, links
  to dev goals, stakeholder involvement, barriers
  addressed, potential for follow-up, reporting,
  resorce utilization, replicability etc.

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CONDUCTING Managing the TNA process

• Findings from TNAs
• Management process not properly described
• Countries did not report on institutional
  arrangements for conducting TNAs
• A few countries indicate scoping workshops, ToRs.
• Lack of a proper focus (mitigation vs adaptation
  key sectors, key technologies) of some TNAs leads
  to the conclusion that they lacked a proper
  strategic management of the process.

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CONDUCTING Managing the TNA process

• Good Practice
• Nominate the right person as coordinator of the
  TNA
• Set up a national team of experts with people
  previously involved in the national communication
  process.
• Set up a stakeholders group with the involvement
  of high-level representatives from key relevant
  institutions.
• Develop a detailed work-plan with clear
  objectives, outputs and activities and
  deliverables and validate it with stakeholders an
  the team.
• Develop rules and procedures for write-ups and
  final deliverables.
• Hold an inception workshop to present the
  objectives and expected deliverables and refine
  any arrangements, if needed.

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CONDUCTING Managing the TNA process
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CONDUCTING Methodological aspects

• Findings from TNAs
• Most of the TNAs were conducted before the
  completion and publication of the UNDP Handbook
• All countries followed a process similar to that
  of UNDP handbook because
• Used other available guidance (CTI, UNEP, IPCC)
• UNDP Handbook preparation draw upon existing
  resources
• Methods used by countries served as reference
  point for the UNDP handbook (workshops, feedback,
  inputs)
• In most of the cases stakeholders were involved
  either through an inception/scoping workshop or
  questionnaire survey.
• Majority of TNAs do not quote the methodology
  used.

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CONDUCTING Methodological aspects

• Good practice
• Use the most current updated guidance as a
  methodological approach for conducting the TNA
  study
• Draw upon disseminated good practices and lessons
  learnt by other countries who conduced the TNA
  studies
• Adopt/accommodate the selected methodological
  guidance in accordance to the national
  circumstances. There is no one size- fits-
  all type of guidance.

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CONDUCTING Areas and sectors covered

• Findings from the TNAs
• All countries have passed through a preliminary
  assessment
• All focused their TNAs on sectors already
  identified under their FNCs
• for their potential for GHG reduction and/or
  addressing vulnerability to climate change.
• All countries (except of one) covered mitigation
  with focus on energy sector
• Adaptation not covered at the same range as
  mitigation
• Most of them lack the explanations on why do they
  focus on a certain area.
• When providing explanations on highlight
  national circumstances, reference to the INC and
  availability of resources

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CONDUCTING Areas and sectors covered

• Good practice
• Conduct a preliminary assessment and prioritize
  sectors.
• Conduct an overview of data sources, information
  sources and data gaps
• Conduct a scoping exercise (it might be a
  workshop) to define the scope of work and design
  TORs for each sector in the light of available
  resources
• Involve stakeholders from the inception phase of
  the TNA (scoping phase)
• Consider national circumstances and development
  needs in the prioritization of sectors.

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CONDUCTING Areas and sectors covered

• Case Study (ALBANIA)
• Mitigation
• Overview of the sector
• Sector profile,
• Legal framework
• Policy framework.
• Overview of the work done under the Albanias
  FNC
• GHG inventory
• GHG mitigation.
• Take the stock of the technologies currently in
  use
• Overview of technology options
• Adaptation
• Profile of the targeted area (Coastal area)
• Overview of the vulnerability studies in the
  targeted area
• Overview of national plans/programs in the
  targeted area
• Overview of the work done under the Albanias FNC
  with a focus on coastal area
• Vulnerability and adaptation section.
• Take the stock of the technologies currently in
  use

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CONDUCTING Methodologies for selection /
prioritization

• Findings from the TNAs
• In most of TNAs technologies were identified on
  basis of three factors (Development goals,
  contribution to CC, market potential)
• A preliminary list of technologies has been
  identified through expert judgement and
  stakeholder consultation.
• In some cases, priority technologies were simply
  listed by sector and sub-sector without any
  explanation.
• Some countries provided detailed information on
  the selection process, criteria and methods.
• Tools used by countries involve
• Multi criteria analysis CB RB Analytical
  hierarchy, survey questionnaire etc
• Weight and scoring
• Those countries that did both mitigation and
  adaptation used the same selection /
  prioritization method
• Explanations on the how stakeholders are involved
  under this step are missing in most of the cases.

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CONDUCTING Methodologies for selection /
prioritization

• Good practice
• Set clear criteria for selection which must be at
  least compatible with development objectives,
  contribute to climate change mitigation and have
  market potential.
• Apply an inclusive process for criteria setting
  by involving expert judgment, policy makers
  judgment, and stakeholder consultation.
• Decide on the tool of prioritization in
  accordance to the national circumstances.
• Use a wide range of criteria, identify a small
  number of key sectors.
• Build up a ranking matrix to evaluate
  technologies.
• Conduct a barrier analysis for the
  selected/prioritized technologies.
• Make plans to revisit the selected technologies
  in the light of future development and change.

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CONDUCTING Methodologies for selection /
prioritization

• Case Study (CHINA)
• Environmental concern global and local
• GHGs mitigation
• Improvement of local environmental quality
• Technological concern
• Mature degree of technologies
• Advancement degree of technologies
• Reliability of technologies
• Penetration of technology application and
• Easiness of wider use of technology.
• Economic concern
• Internal Return Rate (IRR) and the effect of
  pricing and fiscal policies on the IRR
• Payback period
• Mitigation and adaptation costs
• Social concern
• Social efficiency necessity of TT
• Broader links with other sectors and groups
• Employment and poverty alleviation

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CONDUCTING Methodologies for selection /
prioritization

• Case Study (CHINA)
• High efficiency boilers
• Large thermal power generation (300-600 MW)
• Cogeneration
• High efficiency electric motors
• Green lighting
• Energy saving buildings
• Coal-bed methane recovery and utilization
• Biomass gasification
• Wind energy
• Solar thermal heat
• Biogas
• Waste heat and energy recovery
• Village hybrid renewable energy (wind PV)
• High efficiency cook stoves
• Alternative fuel transportation for urban regions
• Small-scale hydropower
• Combined cycle natural gas power generation

• Key technology needs
• Thermal power generation,
• High efficiency motors,
• High efficiency boilers,
• Wind energy and
• Coal bed methane recovery.

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CONDUCTING Methodologies for selection /
prioritization

• Case Study (CROATIA)
• Development benefits
• Job creation
• Capacity building (production, know-how)
• Economic structure change according to croatia
  export orientation
• Agriculture security
• Implementation potential
• Marginal cost
• Commercial readiness
• Technology availability
• Measure applicability
• Contribution to climate change response goals
• GHG emission reduction potential / enhancement of
  CO2 sinks
• Indirect effect on the other air pollutants
  emission reduction
• Conservation of energy

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• Key technology needs
• Wind power plants
• Biomass in heating plants
• Energy efficiency in buildings
• Biomass in cogeneration plants
• Increase in bio-diesel use

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CONDUCTING Next steps

• Findings from the TNAs
• Next steps, as from the identification of
  technologies, were not always covered by
  Countries .
• Next steps reported varied among Countries.
• Those who reported presented general actions such
  as
• improving access to information on these
  technologies,
• awareness raising
• improving human capacity.
• Other Parties still proposed next steps for the
  respective technologies in the form of
• implementation plans,
• recommendations,
• project proposals.
• In some reports, it was difficult to distinguish
  between barrier removal and next steps.

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CONDUCTING Next steps

• Good practice
• Next steps could aim at analyzing successful
  implementation of the TNA results.
• Draw implementation plans to address the barriers
  identified.
• This could be done by formulating complete
  detailed project proposals for the transfer of
  the selected technologies.

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CONDUCTING Develop project proposals

• Findings from TNAs
• Only a restricted number of Parties developed and
  included project proposals in their TNAs.
• The proposals differed mainly in quality
• did not include the same information
• The remaining Parties presented project concepts
  or ideas ONLY

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CONDUCTING Develop project proposals

• Good practice
• Set-up a multidisciplinary team to write up a
  detailed project proposal.
• Adopt the UNFCCC practitioners guidebook
• A good project proposal must reply to the
  questions
• What is being proposed?
• Where will be implemented?
• Who will champion the proposal who else get
  involved?
• How will be implemented?
• Why is it important (financial, social,
  environmental return)?
• What if things do not go as planned?
• To Whom is he proposal addressed?

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REPORTING

• Findings from TNAs
• All countries produced TNA reports although they
  either completely lacked or had partial guidance
  on it
• GEF Operational Procedures for top-ups do
  consider TNA as follow-up of the NC but do not
  ask for an official submission of the reports to
  the UNFCCC
• TNA reports have been collected and analysed
  through the GEF Implementing Agencies
• Available in their web pages and TT CLEAR
• Most of the reports consist on a step-by-step
  description involving national circumstances and
  cross-cutting issues but the level of detail is
  different.
• Countries used charts, tables, matrixes as part
  of reporting the TNA findings
• Majority of countries do not explain the
  institutional arrangements and methodological
  approach.

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REPORTING

• What a TNA report MUST contain
• Objective of the TNA
• Methodological approach
• A description of the institutional arrangements
• An overview of sectors, including GHG emissions
  and the potential for their reduction and/or
  adaptation to climate change
• A preliminary summary of climate change
  technologies
• A statement on data gaps and constraints, and
  measures adopted to correct them
• Description of criteria and process for
  technology evaluation
• An overview of the assessment of technologies
  according to the agreed priorities
• List of priority sectors and key technologies for
  preliminary action
• A review of key barriers and steps to overcome
  them,
• A description of follow-up arrangements (in the
  form of a implementation plan if appropriate or
  project ideas/ notes/concepts/proposals)
• A list of stakeholders and programme for
  continued stakeholder engagement. Matrices of
  evaluation.

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Next steps

• Strategies for improvement of the TNA process
• Integrating feedback from this workshop
• Integrating feedback from the UNFCCC sec and
  EGTT
• Draft final in mid-August, 2007

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• Thank you!